Principles, Criteria and Indicators

Transcription

1 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation in Indonesia CENTRE FOR STANDARDIZATION AND ENVIRONMENT (Standardization, Environment, and Climate Change) PUSAT STANDARDISASI DAN LINGKUNGAN (Standardisasi, Lingkungan dan Perubahan Iklim) Jakarta, March 2013

2 Published by: Centre for Standardization and Environment (Pustanling) Secretariat General, Ministry of Forestry In Cooperation with: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Forests and Climate Change Programme (FORCLIME) Written by: Neil Franklin and Aisyah Sileuw (Daemeter Consulting) Contributing authors/ Contributors: Alan Purbawiyatna, Aulia Aruan, Bambang Riyanto, Bernadinus Steni, Delon Marthinus, Dharsono Hartono, Dian Yusvita Intarini, Emile Kleden, Giorgio Budi Indarto, Niken Sakuntaladewi, Rahmat Hidayat, Rizaldi Boer, Stepi Hakim, Tunggul Butar Butar, Wahjudi Wardojo, and other contributors who cannot be mentioned by name individually. Edited by: Nur Masripatin, Novia Widyaningtyas, Barbara Lang Citation: Centre for Standardization and Environment (2013): Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation (SIS-REDD+) in Indonesia. Centre for Standardization and Environment, Ministry of Forestry, and Forests and Climate Change Programme, Deutsche Gesellschaft für Internationale Zusammenarbeit ISBN: Photo: Photo courtesy of IISD/ Earth Negotiation Bulletin, Nur Masripatin and FORCLIME collections Printed by: Sunset Media Jakarta, March 2013

3 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation (SIS-REDD+) in Indonesia A multi-stakeholder process to identify elements of existing instruments of relevance to REDD+ safeguards in accordance with the Cancun Agreement 2013

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5 Contents Foreword... v Glossary... vii 1. Introduction COP-16 Safeguards and Related Guidance Developing an Information System on REDD+ Safeguards Implementation (SIS-REDD+) About This Report Identification of Relevant Elements from Existing Instruments Methodology for Evaluating Elements of Existing Instruments Evaluation Criteria for Existing Instruments Results of Analysis of Elements from Existing Instruments General Findings Related to Existing Instruments Identifying Principles, Criteria and Indicators from Existing Instruments Reference Materials used in the Development of REDD+ Safeguards PCI Results of Analysis: Matrix of Elements and Preliminary Common Denominators Summary of Major Element Clusters and Common Denominators Stakeholder Consultation During Development of PCI for SIS-REDD Summary of Stakeholder Consultations During Development of PCI for REDD+ Safeguards Implementation Development of PCI for Measuring REDD+ Safeguards Implementation Summary of Principles, Criteria and Indicators Conclusion Annex: Principles, Criteria and Indicators System for Providing Information on REDD+ Safeguards Implementation (SIS-REDD+) Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation iii

6 iv Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

7 Foreword COP-16 in Cancun requested Parties undertaking REDD+ activities to develop a system for providing information on how the safeguards (Annex I of COP-16 on outcome of the AWG-LCA) are being addressed in REDD+ implementation. The safeguards (together with guidance) for REDD+ implementation as in the Annex 1 of COP-16 Decision on outcome of the AWG-LCA, are conceptually logical but practically challenging, and so, it is necessary to translate the safeguards to enable Indonesia effectively implement them within the context of national legislation and circumstances. In response to this mandate, Indonesia, as part of this world s community, isdeveloping a System for Information Provision on REDD+ Safeguards implementation. During the two years of , a multi-stakeholders process has been carried out to facilitate the the development of this REDD+ safeguards information system, through identification of elements of existing instruments of relevance to REDD+ safeguards in accordance with the Cancun Agreement. The process included 3 national workshops, series of Focus Group Discussion, as well as one regional workshop in Central Kalimantan. The process is facilitated by Centre for Standardization and Development Ministry of Forestry, with support from GIZ-Forclime. This report is intended as a document of publication to inform the result of the two-years multistakeholder process; and to reflect the process has been carried out, the report is developed with the following structure : Introduction, Identification of Relevant elements from existing Instruments, Identifying Draft Principles, Criteria and Indicators from Existing Instruments, and Conclusion. The Principles, Criteria and Indicators System for Providing Information on REDD+ safeguards Implementation (SIS-REDD+), as result of the work is presented as Annex of this report. With the publishing of this report, my sincere thanks addressed to all of stakeholders and experts involved in the multistakeholder process of during the last two years, the support from our partner GIZ- Forclime, the help from Daemeter Consulting as well as staff members of Centre for Standardization and Environment. Finally, it is hoped that this report will be useful for the stakeholders - at the international, national, sub-national level, as well as site level - to comprehend the importance of REDD+ safeguards, their implementation, and the provision of the implementation information, and furthermore, to be deeper involved in the development of System for Information Provision on REDD+ Safeguards implementation in Indonesia. Jakarta, January 2013 Director, Dr. Nur Masripatin Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation v

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9 Glossary AMDAL FPIC FSC HCVF IBSAP KLHS PGI PHPL SEA SESA SFM SVLK Analisis Mengenai Dampak Lingkungan, environmental impact assessment. Free, Prior, and Informed Consent (or Consultation, per Government of USA and WB), a process that provides opportunity for indigenous and/or local communities to reject or approve activities in forests to which they have rights. Forest Stewardship Council, see SFM and HCVF High Conservation Value Forest, also known as HCVA (High Conservation Value Area), a concept developed by the FSC describing natural habitats where these Values are considered to be of outstanding significance or critical importance. Indonesian Biodiversity Strategy and Action Plan serves as the main GOI reference to guide development of national programs for the utilization and conservation of biodiversity under the National Development Plan (RPJMN) Kajian Lingkungan Hidup Strategis, strategic environmental assessment (SEA) is a mandatory control mechanism for development policies, plans and programs at the National, Provincial and Kabupaten level (UU 32/2009) Partnership Governance Index, is a comprehensive measure and comparison of democratic governance performance of all provinces in Indonesia. PGI juxtaposes the arenas and principles of governance to derive its indicators of good governance. Pengelolaan Hutan Produksi Lestari, a sustainability management system for all production forest concessions in Indonesia. Strategic Environmental Assessment, see KLHS Strategic Environmental and Social Assessment, a safeguard system of the World Bank that can be applied in the context of REDD+ activities including REDD+ pilot programs. Sustainable Forest Management, refers to voluntary certification standards for SFM used in the context of timber production. The Forest Stewardship Council (FSC) and Lembaga Ekolabel Indonesia (LEI) are the two most well known systems used in Indonesia. Sistem Verifikasi Legalitas Kayu, timber legality verification system which is part of PHPL. Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation vii

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11 1. Introduction In the discussions about developing a REDD+ mechanism in the framework of the United Nations Framework Convention on Climate Change (UNFCCC) safeguards have been identified as an important element of effective REDD+ implementation. REDD+ safeguards aim to ensure that REDD+ actions avoid or minimise negative social or environmental impacts. UNFCCC Decision 1/CP.16 at Cancun in 2010 first raised the issue of REDD+ safeguards, requesting parties to promote and address safeguards. The safeguards identified cover a range of issues, including transparency of national forest governance structures, effective participation of stakeholders, respect for the knowledge and rights of indigenous peoples and local communities, conservation of natural forests and biodiversity, and the avoidance of both displacement of emissions and reversals of emissions reductions. UNFCCC Decisions at COP 16 also emphasised that an important element of REDD+ is a system for providing information on how safeguards are addressed and respected. Effective systems to share information on REDD+ safeguards are intended to help promote transparency, guard against unintended social and environmental consequences, and provide information that maybe used to assess the impact of REDD+ actions. A decision of the 17th UNFCCC Conference of the Parties in Durban in 2011 agreed on broad provisions for guidance, including that national safeguard information systems should build upon existing systems, as appropriate. Hence, since COP16 AND COP 17, parties intending to implement REDD+ have been tasked with the implementation of safeguards, and the development of a system for providing information on how these safeguards are addressed and respected. Throughout 2011 and 2012 the Government of Indonesia has, through the Centre of Standardization, Environment (Pustanling) of the Ministry of Forestry, coordinated a multi-stakeholder process to develop a system for providing information on safeguards in REDD+ implementation (SIS-REDD+) COP-16 Safeguards and Related Guidance UNFCCC decisions require that, in the implementation of REDD+, the following safeguards should be promoted and supported : 1. Actions complement or are consistent with the objectives of national forest programmes and relevant international conventions and agreements; 2. Transparent and effective national forest governance structures, taking into account national legislation and sovereignty; 3. Respect for the knowledge and rights of indigenous peoples and members of local communities, by taking into account relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples; 4. The full and effective participation of relevant stakeholders, in particular indigenous peoples and local communities, in the actions referred to in paragraphs 70 and 72 of this decision; 5. Actions are consistent with the conservation of natural forests and biological diversity, ensuring that the actions referred to in paragraph 70 of the decision are not used for the conversion of natural forests, but are instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits; Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 1

12 6. Actions to address the risks of reversals; 7. Actions to reduce displacement of emissions. In addition to the above, COP 16 (Annex 1, Paragraph 1 of Decision 1/CP.16) also provides guidance for the implementation of REDD+, advising that national actions should: 1. Contribute towards the achievement of the Convention, specifically the stabilization of concentrations of atmospheric GHG and the promotion of sustainable development. 2. Contribute towards the fulfillment of commitments under the Convention related to the transfer of financial support and technology from developed to developing nations. 3. Be defined by specifics of national context and be based on consideration of options appropriate to national conditions. 4. Be consistent with the objectives of maintaining environmental integrity and the multiple functions of forests and ecosystems. 5. Be implemented in accordance with the priorities and objectives of national development, conditions and capacity while respecting national sovereignty. 6. Be consistent with needs and goals of national development. 7. Be implemented in the context of sustainable development and the reduction of poverty, while addressing the issue of climate change. 8. Be consistent with the adaptation needs of the nation. 9. Be supported with sufficient financing and technology, including capacity development. 10. Be performance based. 11. Promote sustainable forest management. In the implementation of the Cancun REDD+ safeguards that can be effectively used at all scales and levels, it is necessary to interpret the guidance above in the context of national specifics such as legislation and regulations, available resources, capacity to implement and other relevant local factors. In particular, Indonesia s legacy of policy, regulations and practices represent a national asset of significant value as a foundation for developing a system for information provision on REDD+ safeguard implementation appropriate to the national context. It is with this justification that, in 2011, the Ministry of Forestry of the Republic of Indonesia embarked on a comprehensive, multi-stakeholder process to review existing policy, regulatory and voluntary instruments, of relevance to REDD+ safeguards as defined by the COP 16 decision, as a preliminary basis for constructing a national REDD+ safeguards information system. The rationale implicit to this process is that existing instruments have either a strong legal basis and/or are already tried and tested within the scales and contexts appropriate to REDD+ activities. Necessary steps in this process include the evaluation of relevant mandatory and voluntary instruments for their appropriateness to the specific REDD+ safeguards set out in COP 16, the relative strengths and weaknesses of instruments, acceptability to stakeholders, obstacles to more effective implementation of existing instruments, and a consideration of interrelatedness of instruments in providing comprehensive coverage in all aspects. 2 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

13 1.2. Developing an Information System on REDD+ Safeguards Implementation (SIS-REDD+) In order to develop an appropriate SIS-REDD+ there is a need to launch stakeholder consultation processes at different levels and in order to incorporate as wide a range of technical and policy inputs as possible. The overall objective of these stakeholder processes is to develop a system for information provision on safeguards implementation which consists of appropriate Principles, Criteria and Indicators to assess the safeguards implementation, and other relevant elements as required. The Centre for Standardization and Environment (Pustanling) of the Ministry of Forestry initiated the development of SIS-REDD+ since Funding throughout the process has been provided by the Ministry of Forestry, Republic of Indonesia, and the German Government, through the FORCLIME program of Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ). Objectives of the stakeholder process have been further elaborated by Pustanling according to the following: 1. The translation of REDD+ safeguards according to the COP 16 Decision into the national context with criteria and indicators appropriate to implementation. 2. The analysis of existing policy and other instruments that have relevance for REDD+ safeguards as defined by the COP-16 Decision. 3. The development of a structure and mechanism for an information system for implementing REDD+ safeguards that is aligned with the specific context of Indonesia. 4. The design of a SIS-REDD+ institution. 5. The identification of relevant Principles, Criteria and Indicators as components of a system for providing information on the implementation of safeguards for REDD+ activities in Indonesia. Step 1 above, specifically the collection of information on existing safeguard instruments and their respective strengths and weaknesses, was achieved through a workshop convened on 21st March 2011 by the Ministry of Forestry, followed by several Focus Group Discussions (FGD) during Q1-Q2, 2011 involving a broad cross-section of stakeholders and focusing on institutional aspects of the safeguard information system. The analysis of existing policy and other instruments (Step 2) was carried out during Q3-Q4 2011, again through multi-stakeholder FGDs, with the support of Daemeter Consulting. The resulting analysis represented a draft report for continued stakeholder discussion, aimed to identify relevant elements of existing instruments and assess the relative coverage of these instruments in fulfilling REDD+ safeguard principles. In January 2012 Pustanling initiated work on Steps 3 and 4 through the convening of a multi-stakeholder national workshop (National Workshop II, 26 January 2012) focused on the following aspects of SIS- REDD+: 1. Optimization of draft institutional structure and information flow in SIS-REDD+ 2. Identification of appropriate evaluation instruments for the implementation of safeguards in REDD+ Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 3

14 In the follow-up to this workshop, activities related to Step 5 were initiated, specifically the identification of Principles, Criteria and Indicators for providing information on the REDD+ safeguards implementation. This Step 5 is a natural extension of analysis from Steps 1 and 2 carried out during 2011, and has again involved leadership by Pustanling, funding support by the German Government through GIZ, intensive multi-stakeholder FGDs and the technical support of Daemeter Consulting About This Report This report represents a summary of rationale, process and outcomes arising specifically from Steps 2 and 5; from early identification of existing instruments of relevance to REDD+ safeguards, to the development of Principles, Criteria and Indicators that provide comprehensive coverage of the REDD+ safeguards in a manner which is aligned to Indonesia s context and conditions. 2. Identification of Relevant Elements from Existing Instruments The approach taken in this first phase was based on the rationale that there exist a number of instruments, that are either referenced or mandated within Indonesian law, or are currently practiced voluntarily, that can be used as REDD+ safeguards (COP 16 Decisions Adopted by Conference of Parties Appendix I). Therefore, the overall objective in this phase was to analyse safeguard instruments and policies currently in use in Indonesia and identify elements which have proven effective and implementable and which are relevant for the seven safeguards for REDD+ of UNFCCC COP 16 Decision. The intended outputs of this analysis were to: 1. Develop a list of elements identified from existing safeguard instruments and policies which are structured according to the seven safeguards listed in Annex 1 of UNFCCC COP 16 Decision 2. Analyse the effectiveness and practicability of these elements and recommendations on which elements should be monitored for the purpose of providing information on REDD+ safeguard implementation 3. Identify gaps between UNFCCC Safeguards and the recommended elements for further consideration through multi-stakeholder dialogue Methodology for Evaluating Elements of Existing Instruments Among the various existing instruments covered during this analysis were the following (further details on each instrument can be found in the glossary): AMDAL (Analisis Mengenai Dampak Lingkungan; Environmental Impact Assessment) KLHS (Kajian Lingkungan Hidup Strategis; Strategic Environmental Assessment) PHPL (Pengelolaan Hutan Produksi Lestari; Sustainable Forest Management and Production) SFM Certification (LEI, FSC) SVLK (Sistem Verifikasi Legalitas Kayu; System for Verification of Timber Legality) PGI (Partnership Governance Index) 4 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

15 HCVF (High Conservation Value Forest) FPIC (Free, Prior, and Informed Consent) Rights-based safeguards SESA (Strategic Environmental and Social Safeguards Assessment) Others to be identified (e.g. legislation related to biodiversity conservation, etc.) Each of these instruments was evaluated against the scope and intent of COP 16 safeguards using several criteria: Relevance to COP 16 safeguards, specifically Technical feasibility/ implementability Potential effectiveness under ideal conditions Current practices relating to implementation and effectiveness Limitations in scope of instruments Effectiveness of instruments at different scales and contexts The evaluation (a comprehensive scoring of each instrument against the criteria above) was prepared by the technical group, presented in a focal group discussion, and amended based on feedback received Evaluation Criteria for Existing Instruments All existing instruments under consideration were evaluated against a range of criteria as summarised above, and then scored dependent upon the instrument s fulfilment of the criteria according to the rationale described below: For legal instruments, feasibility/ implementability is dependent upon the existence of detailed, unambiguous regulations and systems in support of implementation. For non-legal instruments, feasibility was evaluated based on the existence of a clearly defined process and systems in place in support of implementation. In both cases, the absence of a clearly defined process will result in a low scoring. The existence of a process that lacks detail or modification in practice will result in a medium score. On the other hand, the existence of a process that can be used directly without modification will result in a high score for the instrument under consideration. Potential effectiveness of instruments depends on whether the instrument is fully functional (technical feasibility is optimised) and how well it could act in support of a specific safeguard, irrespective of how well it is practiced now. Some instruments are clearly better suited than others for specific safeguards, dependent upon scope, and scoring was allocated to instruments based on this safeguard-specific evaluation. Therefore potential effectiveness of instruments as safeguards is scored irrespective of current practice, but heavily weighted towards potential ability, intrinsic within the definition and/or design of instruments, to respond to specific requirements of the COP-16 safeguards themselves. Score for this criteria is reduced where there is evidence of lack of capacity for implementation, lack of oversight, poor management of the system and/ or inherent weakness in the systems that enable poor practice. Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 5

16 Instruments were also scored based on an evaluation of limitations in scope against the COP-16 safeguards. This refers to limitations to the context of where the instrument is currently applied, while considering that, under certain conditions, scope can be increased through modification of the instrument or its means of application. Finally, instruments were evaluated for their effectiveness at different scales; recognising that REDD+ activities may take place at either the national, regional, provincial, district or project site levels. While some instruments are effective and relevant across a range of different spatial scales, others are much more specific to one end of the scale spectrum or the other Results of Analysis of Elements from Existing Instruments In summary, the aggregate scoring of existing instruments, based on the criteria described previously, is presented in the table below. Each of the main instruments under consideration were ascribed a score against each of the seven COP-16 safeguards, and mean score across all safeguards (Mean Score) also calculated. In the table below the colour coding corresponds to a qualitative assessment of relevance and coverage for each of the instruments based on this scoring (green= good; yellow=adequate; red=weak). Simultaneously, linkages between each of the seven safeguards and the instruments under consideration was assessed, to provide a broad qualitative estimate of relative coverage of each safeguard by the existing schemes (Overall coverage - mean score). Table 1. Overview of Instrument Relevance and Coverage of Safeguards Instrument NFP/ Conventions Good governance, sovereignty Respect indigenous peoples Stakeholder engagement Biodiversity, forest, ecosystem services Permanence of Carbon Leakage of Carbon Mean Score Rank PHPL/SVLK SFM KLHS AMDAL HCV FPIC SESA Overall Coverage (mean score) Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

17 Overall, existing instruments provide relatively adequate coverage of safeguards 1 to 5, excluding safeguards 6 (permanence of carbon) and safeguards 7 (leakage of carbon) which were both relatively under-represented within the existing instruments as investigated. In terms of relevance of existing instruments against the safeguards, voluntary standards of sustainable forest management (SFM; specifically LEI and FSC standards), KLHS and HCV achieved relatively high scores. These were followed by FPIC, SESA, AMDAL and PHPL/SVLK in order of declining effectiveness in terms of their response to COP-16 safeguards. With respect to effectiveness of the instruments at different scales, the table below provides aggregated scoring for each instrument against national, provincial, district and site specific scales. Overall, existing instruments provided adequate coverage and effective response to COP-16 safeguards at the project sitelevel. Exceptions to this were for KLHS and SESA instruments, which provided relatively adequate coverage across the full range of scales. Table 2 - Summary of Effectiveness of Instruments at Different Scales Instrument National Provincial District Site PHPL/SVLK SFM KLHS AMDAL HCV FPIC SESA General Findings Related to Existing Instruments The following represents a summary of general findings from the first phase of analysis of existing instruments: 1. Different instruments operate well at different levels, with most operating well at the site level and less so at broader geo-political scales 2. Existing safeguards covered here are weak, or non-existent, for ensuring the permanence of carbon stocks and preventing leakage. 3. Overall the safeguards analysed are best at ensuring good governance, respect for indigenous people, and for ensuring appropriate stakeholder engagement. 4. With the exception of KLHS, voluntary standards tended to be rated higher than mandatory instruments. Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 7

18 5. Gaps in the effectiveness of safeguards by existing instruments are primarily related to: a) Need for strengthened implementation of existing instruments b) Need for additional regulation to guide consistent implementation of existing instruments c) Need for strengthened systems to monitor impacts of instruments d) Divergence in capacity/expertise at Provincial/District level compared to national level. e) Absence of over-arching framework to coordinate the metrics and reporting standards of diverse instruments and their actors at national to project site scales. 6. Safeguards are not new to Indonesia, and in general adequate instruments are enshrined in mandated instruments or commonly practiced voluntary standards, to provide a basis for developing appropriate Principles, Criteria and Indicators for COP-16 safeguards specific framework (with some exceptions). 7. A Safeguard System based on the existing instruments as assessed is possible, by selection of specific elements from each instrument, with the caveat that strengthened standards of implementation of the instruments and stronger over-arching coordination may be necessary. 3. Identifying Principles, Criteria and Indicators from Existing Instruments The second phase of activities described here relates to the further development of the analysis carried out previously. During this stage, the relevant existing instruments were broken down into their component elements and evaluated in more detail for their relevance, effectiveness and practicality as common denominators within a comprehensive framework of principles, criteria and indicators (PCI) for REDD+ safeguards. Activities in this phase are defined by the following steps: 1. Consultations with initiators of the safeguard instruments (PHPL/SVLK, SFM certification by FSC/ LEI, KLHS, AMDAL, HCV, FPIC, SESA) to validate and enhance the previously conducted analysis of their relevance, limitations in scope and effectiveness at different scales. This includes consultation of the results of the analysis with participants of FGDs organised by Pustanling, Ministry of Forestry in partnership with GIZ FORCLIME. 2. Based on the earlier analysis of existing instruments, identification and extraction of elements (in the form of principles, criteria, indicators) which are relevant to each of the COP 16 REDD+ Safeguards (a g in annex to COP 16 Decision), clustering them to identify common denominators for each safeguard. 3. Following stakeholder consultation through FGD s, development of a PCI framework (referenced to the original instrument) from the identified common denominators, that can effectively provide information about the implementation of REDD+ safeguards as required by UNFCCC. 4. Preparation of a final report on the analysis of existing instruments, including a draft list of common denominators related to COP 16 REDD+ Safeguards formulated as principles, criteria and indicators. 8 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

19 The steps in the analysis process can be further elaborated as follows: Identifying and prioritizing elements contained in existing instruments Based on previous analysis, existing instruments considered to be of high relevance and effectiveness were broken down into their respective components to further understand the key elements of the instruments that could be related to the 7 COP-16 safeguards. These elements derived, from the range of instruments covered, were then arranged in accordance with the specific safeguard of particular relevance. Identification of clusters of elements or common denominators The array of elements derived from existing elements were then arranged according to theme in order to identify major clusters of elements responding to similar principles. Furthermore this provided an opportunity to assess where particular themes were insufficiently supported by elements derived from existing instruments. Finally, the process identified the potential for hierarchical arrangement of element clusters with related themes with the intent of indentifying specific Principles under which these common denominators could be arranged. Consider if Clusters corrrespond well to Principles or to Criteria Criteria 3 Indicator Indicator Criteria 1 Indicator Indicator Fair benefit sharing Criteria 2 Indicator Indicator Cluster Mapping For example, in safeguard Indigenous Rights and Community we can identify Clusters representing central themes. Criteria and Indicators are taken from multiple instruments Criteria 3 Indicator Indicator Criteria 1 Indicator Indicator Conflict Resolution Criteria 2 Indicator Indicator Indigenous right & Community Criteria 3 Indicator Indicator Criteria 1 Indicator Indicator Identifying rights holders Criteria 2 Indicator Indicator Linking the emerging element clusters to safeguards During this stage of the analysis, the clusters of common denominators, considered to reflect emerging Principles of a PCI framework, were mapped against the 7 COP-16 safeguards. In general, where possible it was attempted to align a single principle to each of the major safeguards, with related element clusters arranged hierarchically under each of these major principles. Mapping elements into a Principles, Criteria and Indicators framework Finally, with the identification of major principles aligned to the 7 COP-16 safeguards, the component elements were reconstructed to form Criteria with related Indicators. Criteria and Indicators were referenced to the original instrument from which they were originally derived. Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 9

20 Safeguard Principle/ Cluster Criteria Indicator Criterion 1 Indicator Cluster 1 Indicator Indigenous rights & community Cluster 2 Criterion 2 Criterion 3 Indicator Indicator Indicator Indicator Each indicator was referenced to one or several of the original instruments from which it was derived Criterion 4 Indicator Cluster 3 Criterion 5 Indicator 3.1. Reference Materials used in the Development of REDD+ Safeguards PCI The following materials represent primary resource documents for the analysis and PCI development process described in this section: 1. Report: Development of Information System for the Implementation of REDD+ Safeguards in Indonesia (Pembangunan Sistem Penyediaan Informasi Tentang Pelaksanaan Safeguards REDD+ di Indonesia) background material for Focus Group Discussion I/2012 in Jakarta, dated 21 March Safeguards in REDD+ Policies and Instruments: An analysis for Pustanling by Daemeter Consulting, version 8/12/ Documents (rules, standards, procedural descriptions, guidelines) of the following safeguard instruments/policies: PHPL Pengelolaan Hutan Produksi Lestari policies and regulations SVLK (Sistem Verifikasi Legalitas Kayu) SFM Certification (LEI, FSC) KLHS (Kajian Lingkungan Hidup Strategis) AMDAL (Analisis Mengenai Dampak Lingkungan) HCV (High Conservation Value assessment) FPIC (Free, Prior, and Informed Consent) SESA (Strategic Environmental and Social Assessment) 10 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

21 3.2. Results of Analysis: Matrix of Elements and Preliminary Common Denominators The following tables represent the first stage of analysis described above, based on the deconstruction of previously identified existing instruments into component elements. These elements were then arranged according to common theme (clusters), referenced to the respective instrument and indicator inherent in that instrument. Finally, common denominators were identified to allow grouping of elements in a manner aligned to the 7 COP 16 safeguards. These tables represent an interim output and were modified extensively during and following stakeholder consultations convened by Pustanling/GIZ FORCLIME. At this stage, additional consultation was carried out with the respective owners/initiators of the various existing instruments used in the table. These consultations (or validations) were to ensure that the instruments had been interpreted appropriately, and that References (indicators) were comprehensive, realistic and aligned to the intent of the instruments themselves. COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 1. That actions complement or are consistent with the objectives of national forest programmes and relevant international conventions and agreements Comply with Government Laws & Regulations (legal compliance) The availability of legal and administrative documents and reports, regarding implementation of government regulation The availability of basic data, planning documents and annual reports in accordance with relevant government regulation PHPL/SVLK Prerequisite 1.1.; 1.2; 1.3; 1.4; 1.5 Production 2.1; 2..2; 2.5 Social : 4.2 LEI Prerequisite II.1; II.2; II.3 *The FMU shall comply with Government laws and regulations and has commitment to International Conventions/ agreements Commitment to international conventions/ agreements. The availability of reports, including monitoring and evaluation, as demonstration of effort to work toward compliance with international conventions/ agreements PHPL/SVLK and LEI Legal compliance The organization shall comply with all applicable laws, regulations, nationally-ratified international treaties, conventions and agreements FSC Principle 1 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 11

22 COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 2. Transparent and effective national forest governance structures, taking into account national legislation and sovereignty Management Information System Organization Structure Clear statement of proponents commitment to good governance, with vision, mission and explicit goals of FMU Annual Corporate Statement that includes information on production, performance on social and ecological aspects, efficiency and demonstration of actions taken to implement vision & mission statement Documented capacity and mechanism for planning, implementation, monitoring, evaluation and feed back of operational performance PHPL/ SVLK Prerequisite 1.2 The FMU shall have an institutional arrangement to support good forest governance. LEI Prerequisite 1.1; 1..2; 1.3; 1.4; 1.5 The FMU shall have an organizational structure, which allows good communication (internal and external) and operational coordination leading to effective monitoring of performance toward good governance. Corporate Statement, outlining organization structure, including shareholders/owner, as well as technical organization structure Management Policy Demonstrated long-term planning consistent with achieving sustainable forest management Demonstrated financial viability of forestry business Anti-corruption policy The organization shall publicize commitment not to offer/accept bribes in money or any other form of corruption, and shall comply with anticorruption legislation where this exists. In the absence of anticorruption legislation, the Organization shall implement other anticorruption measures proportionate to the scale and intensity of management activities and risk. FSC Criteria Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

23 COP 16 Safeguard Cluster Elements Instrument 3. Respect for the knowledge and rights of indigenous peoples and members of local communities, by taking into account relevant international obligations, national circumstances and laws, and noting that the United Nations General Assembly has adopted the United Nations Declaration on the Rights of Indigenous Peoples Fair benefit sharing A documented mechanism for mutually acceptable distribution of benefit among stakeholders (especially local affected by operations) and proof of implementation. The Organization shall identify the tenurial rights of indigenous people, their rights of access to and use of forest resources and ecosystem services that apply within the Management Unit The Organization shall contribute to maintaining or enhancing the social economic wellbeing of local communities. Both current and future generations of local communities are guaranteed access to and full control of forest product utilization in concession areas SVLK/ PHPL FSC Reference (indicator) SVLK Indicator 4.3 Part of Criteria 3.1 FSC Principle 4 LEI LEI Indicator S1.3 Common denominator* The forest management unit identifies the location, social profile and potential impacts of FMU on indigenous and local communities, including their rights of and access to forest areas, and demonstrates actions taken to minimize negative and maximize positive impacts. The forest management unit shall have a functioning and documented mechanism for mutually acceptable distribution of benefits with indigenous people and local communities. Documented arrangements are made to accommodate forest product utilization by local communities The Organizations shall respect indigenous and traditional knowledge, and shall compensate indigenous or local communities for commercial use of such knowledge (where applicable) Recognition and formal (legal) compensation for use and implementation of community traditional knowledge in FMU management system LEI P 2.9 FSC LEI S2.2 Criteria 3.6 and 4.8 The forest management unit shall have a procedure for compensating the use of traditional or indigenous people s knowledge for commercial purposes. Policies, plans and/or programs do not result in marginalising a particular group or section of the community because of the restriction of access to and control over natural resources, capital or knowledge KLHS/ AMDAL Permen LH 09/2011, KLHS justice value Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 13

24 COP 16 Safeguard Cluster Elements Instrument Identification of rights holders Identify and document indigenous peoples and their customary and legal rights, and any contested areas or issues within or affected by the FMU. Clear delineation within FMU where adat/ indigenous people/local community areas are found Boundaries between forest concession areas and local community areas area clearly delineated and agreed upon by concerned parties Mapping Rights, Right Holders and Land Use FSC PHPL/ SVLK Reference (indicator) Part of Criterion 3.1 S 4.1 LEI S1.1 FPIC GIZ/ RECOFTC FPIC Guide element 1 Common denominator* The forest management unit shall identify and respect the indigenous peoples ownership, rights of use and/or managem t of land & resources within or affected by FMU. The FMU shall work together with indigenous people or local communities within or affected by FMU to map and demarcate boundaries of customary forest or other areas where ownership and/or use rights are claimed; such mapping shall be based on participatory, open and inclusive approaches. Conflict resolution Documented evidence that a functioning conflict resolution mechanism is in place. The use of appropriate procedures or mechanisms for working toward resolving overlapping claims on the same forest area In the event of delegation of control over management activities to third party, a binding agreement between Organization and indigenous people shall be concluded through FPIC. The agreement shall define its duration, provisions of renegotiation, renewal, termination, economic conditions etc and including how to resolve conflicts. PHPL/ SVLK LEI S. 1.4 FSC Criterion 3.3 S. 4.4 The FMU shall have a procedure for resolving conflicts and communicate this procedure to indigenous people or local communities within or potentially affected by operations of the FMU. 14 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

25 COP 16 Safeguard Cluster Elements Instrument 4. The full and effective participation of relevant stakeholders, in particular indigenous peoples and local communities, in the actions referred to in paragraphs 70 and 72 of this decision Stakeholders involvement and participation The secured forest areas of license holders FPIC/PADIATAPA (Ind) The existence and secured protected areas in every type of forest land The implementation of Corporate Social Responsibility PHPL Mandatory PHPL Mandatory PHPL/ SVLK E. 3.1 PHPL/ SVLK S. 4.2 Reference (indicator) Prerequisite 1.1 Prerequisite 1.5 Common denominator* The FMU shall involve relevant stakeholders in the whole management process and the process agreed/ recognized by stakeholders. Empowerment of community and employees are promoted LEI S 3.3 The Organization shall update and revise periodically the management planning and procedural documentation to incorporate the results of monitoring and evaluation, stakeholder engagement or new scientific and technical information as well as to respond to changing environment, social and economic circumstances. FSC Criterion 7.4 KLHS should be conducted transparently and involving the community as well as other stakeholders related to the policies, plans and / or programs KLHS/ AMDAL Permen LH 9/2011, Prinsip 6 KLHS (Partisipatif) Stakeholders recognition and agreement Stakeholder engagement is based on scale and intensity of forest management unit FSC Principle 3 and Principle 4 Capability of community to gain access to the employment and business opportunities LEI S 2.3 Grievance mechanism Resolving grievances by applying mechanism and provide fair compensation to local communities and individuals. FSC Criterion 4.6 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 15

26 COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 5. That actions are consistent with conservation of natural forests and biodiversity, ensuring actions referred to in paragraph 70 of this decision are not used for conversion of natural forests, but instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits The existence and management of protected areas, including habitat for rare, threatened and endangered species, is documented and verifiable The existence, stability and condition of protected areas representative of each forest type are documented and verifiable Documented steps are taken to identify endangered, rare, threatened and endemic species The condition of endangered/ endemic/ protected species in special areas Impact intensity of production management activities towards endangered/endemic/ protected wildlife species and their habitat AMDAL has to consider components of the environment whose functions need to be maintained and protected as well as conserved: a) protection and conservation forests, and biosphere reserves; b) water resources; c) biodiversity; d) air quality; e) natural and cultural tourism heritage sites; f) environmental comfort; g) environment PHPL/ SVLK PHPL/ SVLK E 3.1 E 3.4 The FMU shall allocate and manage such system of forest management as a life supporting system for various species and sources of biodiversity LEI E 2.4 LEI E 2.6 AMDAL Permen LH no. 8/2006 Pedoman Penyusunan AMDAL, Lampiran I no 7C, point i The Organization shall protect rare species and threatened species and their habitats in the management unit through conservation zones, protected areas, connectivity and other direct measures for their survival and viability. FSC Criterion Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation

27 COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 6. That actions are consistent with conservation of natural forests and biodiversity, ensuring actions referred to in paragraph 70 of this decision are not used for conversion of natural forests, but instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits Biodiversity management Security of endangered/ endemic/protected plant species and their habitat Flora management to protect endangered, rare, threatened, endemic and protected species Security of endangered/ endemic/protected wildlife species and their habitat Fauna management to protect endangered, rare, threatened, endemic & protected species The Organization shall effectively maintain the continued existence of naturally occurring native species and genotypes, and prevent losses of biological diversity especially through habitat management in the management unit. The Organization shall demonstrate that effective measures are in place to manage and control hunting, fishing, trapping and collecting LEI PHPL/ SVLK LEI E 2.7 E 3.5 E 2.8 The FMU shall maintain, conserve or restore ecosystem services and environmental values of the management unit and shall avoid negative impacts in the environment. PHPL/ SVLK E 3.4 FSC Criterion 6.6, Principle 9 (HCV maintenance and enhancement) The FMU shall develop a strategy to implement the biodiversity management to ensure its protection. Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation 17

28 COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 7. Actions to address the risks of reversals Management planning process Robust management and monitoring Capacity and mechanism for planning, implementation, periodic monitoring and feedback on progress to achieve SFM. The availability of long-term management plan to achieve SFM The organization shall demonstrate a long-term commitment. Planning and implementation of forest arrangement based on their functions and types Size of change in the enclosure of land due to encroachment and conversion of forest area functions, fires and other impediments. Capacity & mechanism for planning, implementation, monitoring and feedback on progress towards SFM PHPL/SVLK PHPL/SVLK P 2.1 LEI P 1.2 LEI P 1.3 PHPL/SVLK Prerequisite 1.4 Prerequisite 1.4 The FMU shall provide management plan and strategy to respond to the environmental changes. The FMU shall monitor and evaluate the environmental and social impact of management activities. The results of the monitoring and evaluation should be analyzed and utilized to provide feedback incorporated into the planning process of the next operational phase. COP 16 Safeguard Cluster Elements Instrument Reference (indicator) Common denominator* 8. Actions to reduce displacement of emissions The consistency of FMU Commitment Sustainability of forest investment Controlling illegal activities The area certainty of FMU PHPL/SVLK Prerequisite 1.1 The FMU, that is part of holding License holder and holding company commitment Guarantee of land utilization as a forest area PHPL/SVLK Prerequisite 1.4 LEI P 1.1 Investment and LEI P 3.5 reinvestment for forest management Increase of forest capital LEI P 3.6 The organizations shall develop and implement measures, and/or shall engage with the regulatory agencies to systematically protect the Management Unit from unauthorized or illegal resource use, settlement and other illegal activities FSC Criterion 1.4 company, shall have commitment to achieve well managed forest for all of the FMU within holding company The FMU shall develop strategy and its implementation to ensure that there are no illegal activities within the management unit. 18 Principles, Criteria and Indicators for a System for Providing Information on REDD+ Safeguards Implementation